ROSS ROBERT PAKE is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1432 EDINGER AVE #200, TUSTIN, CA, 92780.
ROSS ROBERT PAKE has worked at CETERA ADVISORS LLC since June 22, 2015
Disclosure History
ROSS ROBERT PAKE has 10 Disclosure Event(s).
Date: August 02, 2016 Category: Judgment / Lien Judgment/Lien Amount: $40,824.21 Judgment/Lien Type: Tax Broker Comment: OF TOTAL FEDERAL TAXES OWED FOR 2015 IF $244,305 I PAID $204,416 LEAVING A BALANCE OWED OF $40,198. I WILL ATTEMPT TO PAY THIS OFF QUICKLY, HOPEFULLY IN THE NEXT 90-120 DAYS. I PAID OFF A 2007 TAX DEBT IN 2015 BUT LIEN WAS NOT REMOVED SO I HAVE PETITIONED THE IRS TO HAVE THE 2015 LIEN RELEASED. I AM AWAITING THEIR RESPONSE.
Date: June 12, 2012 Category: Judgment / Lien Judgment/Lien Amount: $120,531.72 Judgment/Lien Type: Tax Broker Comment: FOR TAX PERIOD ENDING: 12/31/2011
Date: November 02, 2011 Category: Judgment / Lien Judgment/Lien Amount: $242,692.49 Judgment/Lien Type: Tax Broker Comment: FOR TAX PERIOD ENDING: 12/31/2010. PRESENTLY BEING ADJUDICATED AND/OR WORKING TOWARDS SETTLEMENT, OFFER IN COMPROMISE, OR INSTALLMENT AGREEMENT.
Date: December 31, 2009 Category: Judgment / Lien Judgment/Lien Amount: $208,003.58 Judgment/Lien Type: Tax Broker Comment: LIEN FILED WITH THE COUNTY RECORDER, ORANGE COUNTY, SANTA ANA CA 92702;THIS WAS FOR TAX YEAR 2007. ALSO INCLUDING DRP FOR TAX YEAR 2008 THAT WAS LISTED ON SAME NOTICE OF LIEN. TOTAL AMOUNT OF LIEN: $427781.34. TEMPORARILY UNCOLLECTIBLE; PRESENTLY BEING ADJUDICATED AND/OR WORKING TOWARDS SETTLEMENT, OFFER IN COMPROMISE, OR INSTALLMENT AGREEMENT.
Date: December 31, 2009 Category: Judgment / Lien Judgment/Lien Amount: $219,777.76 Judgment/Lien Type: Tax Broker Comment: LIEN FILED WITH THE COUNTY RECORDER, ORANGE COUNTY, SANTA ANA CA 92702;THIS WAS FOR TAX YEAR 2008. ALSO INCLUDING DRP FOR TAX YEAR 2007 THAT WAS LISTED ON SAME NOTICE OF LIEN. TOTAL AMOUNT OF LIEN: $427781.34. TEMPORARILY UNCOLLECTIBLE; PRESENTLY BEING ADJUDICATED AND/OR WORKING TOWARDS SETTLEMENT, OFFER IN COMPROMISE, OR INSTALLMENT AGREEMENT
Date: November 30, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: August 15, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: August 15, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: March 20, 2008 Category: Customer Dispute Allegations: CUSTOMER COMPLAINS THAT ANNUITY FEATURES WERE NOT EXPLAINED AND THAT HE DESIRED IMMEDIATE LIQUIDITY. Damage Amount Requested: $42,000.00 Broker Comment: CLAIM DENIED AS WITHOUT MERIT. MULTIPLE ORAL AND WRITTEN DISCLOSURES WERE PROVIDED TO THE COMPLAINT. CUSTOMER SIGNED MULTIPLE DOCUMENTS TO ACKNOWLEDGE HIS REVIEW AND UNDERSTANDING OF ANNUITY FEATURES.
Date: January 13, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT PAKE'S INVESTMENTRECOMMENDATIONS FELL BELOW THE STANDARD OF CARE REQUIRED OF AREASONABLE AND PRUDENT INVESTOR AND WERE NOT SUITABLE. HEALLEGES DAMAGES IN EXCESS OF $10,000. Damage Amount Requested: $10,000.00
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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